SEC

Get the latest news and insights on the Securities and Exchange Commission's' financial regulations (such as Regulation Best Interest), enforcement actions and related activities.

Spending Bill Kills SEC's New Custody Rule, Reg Best Execution

June 22, 2023

Spending Bill Kills SEC's New Custody Rule, Reg Best Execution
JPMorgan to Pay $4M Over 47 Million Deleted Records

June 22, 2023

JPMorgan to Pay $4M Over 47 Million Deleted Records
SEC Committee Floats User Fees, Third-Party Exams for RIAs

June 22, 2023

SEC Committee Floats User Fees, Third-Party Exams for RIAs
Crypto Exchange Backed by Schwab, Fidelity Goes Live

June 20, 2023

Crypto Exchange Backed by Schwab, Fidelity Goes Live
FINRA Exams Are Changing, Execs Say

June 16, 2023

FINRA Exams Are Changing, Execs Say
PIMCO Hit With $9M SEC Fine

June 16, 2023

PIMCO Hit With $9M SEC Fine
5 Big Rules the SEC Plans to Finalize This Year

June 14, 2023

5 Big Rules the SEC Plans to Finalize This Year